Head of U.S. Surveillance, SCIB Compliance
Head of U.S. Surveillance, SCIB Compliance
New York, United States of America
USA Job Family Description
As the Head of U.S. Surveillance, you will be part of the Global Surveillance team within the SCIB Compliance and Conduct function. Your objective will be to develop and maintain the U.S. Surveillance function in order to reduce and identify risks related to market abuse, through the management of controls and reviews over the trades, orders and communications of employees that carries out market activity at SCIB.
Job Description
Β Line-management of the local U.S. based Surveillance team, reporting into the Global Head of Surveillance.
Β Oversee the execution of daily controls on trades, orders and communications, ensuring appropriate quality control and monitoring.
Β Develop strategic initiatives and articulate to the team and stakeholders.
Β Update and maintain the market abuse risk assessment to ensure all relevant SCIB activities, and coverage requirements are considered from a market abuse perspective.
Β Identification of gaps and proposal of controls to mitigate them.
Β Reporting of periodic MI of the function in an accurate and timely manner.
Β Assisting the oversight of the different units of the group, ensuring that they comply with global Surveillance standards.
Β Ensure that investigations are conducted in line with internal procedures and guidance.
Β Understand relevant regulatory developments, business model, trading platform and product changes.
Β Lead the local surveillance teamΒs responses to audits and regulatory examinations and enquiries.
Β Engage with internal and external stakeholders to develop and embed systems strategy via the Implementation any new technological solutions required to improve the Surveillance function.
Qualifications
Β Team management, ideally of a Surveillance function.
Β Designing and deploying market abuse detection tools.
Β Managing surveillance engagement with auditors and regulators, including remediation of issues arising.
Β Senior stakeholder engagement, including presenting in governance committees.
Β Strong technical knowledge of trade and communication surveillance, ideally covering a variety all major asset classes (Fixed Income, FX, Equities and derivatives, on-venue and OTC)
Β Undertaking market abuse investigations and data analysis
Β Documenting surveillance programmer requirements e.g. policies, procedures, risk assessments and escalations.
Β DESIRABLE: Information Barriers Surveillance
Skills & Abilities
Β Understanding of cash and derivatives products across all major asset classes and profitability analysis of trades.
Β Control design and documentation
Β Communication and leadership
Β Operation of Surveillance systems, including tuning and calibration
Β Knowledge of financial markets and SCIB's business.
Β DESIRABLE: Knowledge of emerging technologies (digital Business, artificial)
EEO Statement: At Santander, we value and respect differences in our workforce. We actively encourage everyone to apply.
Santander is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, genetics, disability, age, veteran status or any other characteristic protected by law.
Working Conditions: Frequent Minimal physical effort such as sitting, standing and walking. Occasional moving and lifting equipment and furniture is required to support onsite and offsite meeting setup and teardown. Physically capable of lifting up to fifty pounds, able to bend, kneel, climb ladders.
Employer Rights: This job description does not list all of the job duties of the job. You may be asked by your supervisors or managers to perform other duties. You may be evaluated in part based upon your performance of the tasks listed in this job description. The employer has the right to revise this job description at any time. This job description is not a contract for employment and either you or the employer may terminate at any time for any reason.
Primary Location: New York, NY, Madison Ave Corp
Other Locations: New York-New York
Organization: Santander US Capital Markets LLC
Salary: $116,250 - $215,000/year
Apply Now
New York, United States of America
USA Job Family Description
As the Head of U.S. Surveillance, you will be part of the Global Surveillance team within the SCIB Compliance and Conduct function. Your objective will be to develop and maintain the U.S. Surveillance function in order to reduce and identify risks related to market abuse, through the management of controls and reviews over the trades, orders and communications of employees that carries out market activity at SCIB.
Job Description
Β Line-management of the local U.S. based Surveillance team, reporting into the Global Head of Surveillance.
Β Oversee the execution of daily controls on trades, orders and communications, ensuring appropriate quality control and monitoring.
Β Develop strategic initiatives and articulate to the team and stakeholders.
Β Update and maintain the market abuse risk assessment to ensure all relevant SCIB activities, and coverage requirements are considered from a market abuse perspective.
Β Identification of gaps and proposal of controls to mitigate them.
Β Reporting of periodic MI of the function in an accurate and timely manner.
Β Assisting the oversight of the different units of the group, ensuring that they comply with global Surveillance standards.
Β Ensure that investigations are conducted in line with internal procedures and guidance.
Β Understand relevant regulatory developments, business model, trading platform and product changes.
Β Lead the local surveillance teamΒs responses to audits and regulatory examinations and enquiries.
Β Engage with internal and external stakeholders to develop and embed systems strategy via the Implementation any new technological solutions required to improve the Surveillance function.
Qualifications
Β Team management, ideally of a Surveillance function.
Β Designing and deploying market abuse detection tools.
Β Managing surveillance engagement with auditors and regulators, including remediation of issues arising.
Β Senior stakeholder engagement, including presenting in governance committees.
Β Strong technical knowledge of trade and communication surveillance, ideally covering a variety all major asset classes (Fixed Income, FX, Equities and derivatives, on-venue and OTC)
Β Undertaking market abuse investigations and data analysis
Β Documenting surveillance programmer requirements e.g. policies, procedures, risk assessments and escalations.
Β DESIRABLE: Information Barriers Surveillance
Skills & Abilities
Β Understanding of cash and derivatives products across all major asset classes and profitability analysis of trades.
Β Control design and documentation
Β Communication and leadership
Β Operation of Surveillance systems, including tuning and calibration
Β Knowledge of financial markets and SCIB's business.
Β DESIRABLE: Knowledge of emerging technologies (digital Business, artificial)
EEO Statement: At Santander, we value and respect differences in our workforce. We actively encourage everyone to apply.
Santander is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, genetics, disability, age, veteran status or any other characteristic protected by law.
Working Conditions: Frequent Minimal physical effort such as sitting, standing and walking. Occasional moving and lifting equipment and furniture is required to support onsite and offsite meeting setup and teardown. Physically capable of lifting up to fifty pounds, able to bend, kneel, climb ladders.
Employer Rights: This job description does not list all of the job duties of the job. You may be asked by your supervisors or managers to perform other duties. You may be evaluated in part based upon your performance of the tasks listed in this job description. The employer has the right to revise this job description at any time. This job description is not a contract for employment and either you or the employer may terminate at any time for any reason.
Primary Location: New York, NY, Madison Ave Corp
Other Locations: New York-New York
Organization: Santander US Capital Markets LLC
Salary: $116,250 - $215,000/year
Apply Now